Title: MANAGEMENT of
1MANAGEMENT of INFORMATION SECURITY Second Edition
2Learning Objectives
- Upon completion of this material, you should be
able to - Understand the need for contingency planning
- Know the major components of contingency planning
- Create a simple set of contingency plans, using
Business Impact Analysis - Prepare and execute a test of contingency plans
- Understand the combined contingency plan approach
3Introduction
- This chapter focuses on planning for the
unexpected event, when the use of technology is
disrupted and business operations come close to a
standstill - Procedures are required that will permit the
organization to continue essential functions if
information technology support is interrupted - Over 40 of businesses that don't have a disaster
plan go out of business after a major loss
4What Is Contingency Planning?
- The overall planning for unexpected events is
called contingency planning (CP) - It is how organizational planners position their
organizations to prepare for, detect, react to,
and recover from events that threaten the
security of information resources and assets - The main goal is the restoration to normal modes
of operation with minimum cost and disruption to
normal business activities after an unexpected
event
5CP Components
- Incident response planning (IRP) focuses on
immediate response - Disaster recovery planning (DRP) focuses on
restoring operations at the primary site after
disasters occur - Business continuity planning (BCP) facilitates
establishment of operations at an alternate site
6CP Components (continued)
- To ensure continuity across all of the CP
processes during the planning process,
contingency planners should - Identify the mission- or business-critical
functions - Identify the resources that support the critical
functions - Anticipate potential contingencies or disasters
- Select contingency planning strategies
- Implement selected strategy
- Test and revise contingency plans
7CP Operations
- Four teams are involved in contingency planning
and contingency operations - The CP team
- The incident recovery (IR) team
- The disaster recovery (DR) team
- The business continuity plan (BC) team
8Putting a Contingency Plan Together
- The CP team should include
- Champion
- Project Manager
- Team Members
- Business managers
- Information technology managers
- Information security managers
9Contingency Planning
- NIST describes the need for this type of planning
as - These procedures (contingency plans, business
interruption plans, and continuity of operations
plans) should be coordinated with the backup,
contingency, and recovery plans of any general
support systems, including networks used by the
application. The contingency plans should ensure
that interfacing systems are identified and
contingency/disaster planning coordinated.
10Figure 3-1Components of Contingency Planning
11Business Impact Analysis (BIA)
- Provides the CP team with information about
systems and the threats they face - First phase in the CP process
- A crucial component of the initial planning
stages - Provides detailed scenarios of the impact each
potential attack can have
12Figure 3-2 Major Tasks in Contingency Planning
13Business Impact Analysis (BIA) (continued)
- BIA provides information about systems and
threats and provides detailed scenarios for each
potential attack - BIA is not risk management, which focuses on
identifying threats, vulnerabilities, and
attacks to determine controls - BIA assumes controls have been bypassed or are
ineffective, and attack was successful
14Business Impact Analysis (BIA) (continued)
- The CP team conducts the BIA in the following
stages - Threat attack identification
- Business unit analysis
- Attack success scenarios
- Potential damage assessment
- Subordinate plan classification
15Threat/Attack Identification and Prioritization
- An organization that uses a risk management
process will have identified and prioritized
threats - These organizations update threat list and add
one additional piece of information the attack
profile - An attack profile is a detailed description of
activities that occur during an attack
16Table 3-1Example Attack Profile
17Business Unit Analysis
- The second major BIA task is the analysis and
prioritization of business functions within the
organization
18Attack Success Scenario Development
- Next create a series of scenarios depicting
impact of successful attack on each functional
area - Attack profiles should include scenarios
depicting typical attack including - Methodology
- Indicators
- Broad consequences
- More details are added including alternate
outcomesbest, worst, and most likely
19Potential Damage Assessment
- From detailed scenarios, the BIA planning team
must estimate the cost of the best, worst, and
most likely outcomes by preparing an attack
scenario end case - This will allow identification of what must be
done to recover from each possible case
20Subordinate Plan Classification
- Once the potential damage has been assessed, and
each scenario and attack scenario end case has
been evaluated, a related plan must be developed
or identified from among existing plans already
in place - Each attack scenario end case is categorized as
disastrous or not - Attack end cases that are disastrous find members
of the organization waiting out the attack, and
planning to recover after it is over
21Incident Response Plan
- The IRP is a detailed set of processes and
procedures that anticipate, detect, and mitigate
the impact of an unexpected event that might
compromise information resources and assets - Incident response (IR) is a set of procedures
that commence when an incident is detected
22Incident Response Plan (continued)
- When a threat becomes a valid attack, it is
classified as an information security incident
if - It is directed against information assets
- It has a realistic chance of success
- It threatens the confidentiality, integrity, or
availability of information assets - It is important to understand that IR is a
reactive measure, not a preventative one
23During the Incident
- Planners develop and document the procedures that
must be performed during the incident - These procedures are grouped and assigned to
various roles - The planning committee drafts a set of
function-specific procedures
24After the Incident
- Once the procedures for handling an incident are
drafted, planners develop and document the
procedures that must be performed immediately
after the incident has ceased - Separate functional areas may develop different
procedures
25Before the Incident
- Planners draft a third set of procedures, those
tasks that must be performed in advance of the
incident - These procedures include
- Details of data backup schedules
- Disaster recovery preparation
- Training schedules
- Testing plans
- Copies of service agreements
- Business continuity plans
26Figure 3-3Incident Response Planning
27Preparing to Plan
- Planning requires a detailed understanding of the
information systems and the threats they face - The IR planning team seeks to develop predefined
responses that guide users through the steps
needed to respond to an incident - Predefining incident responses enables rapid
reaction without confusion or wasted time and
effort
28Preparing to Plan (continued)
- The IR team consists of professionals capable of
handling the information systems and functional
areas affected by an incident - Each member of the IR team must know his or her
specific role, work in concert with each other,
and execute the objectives of the IRP
29Incident Detection
- The challenge is determining whether an event is
routine system use or an actual incident - Incident classification is the process of
examining a possible incident and determining
whether or not it constitutes an actual incident - Initial reports from end users, intrusion
detection systems, host- and network-based virus
detection software, and systems administrators
are all ways to track and detect incident
candidates - Careful training allows everyone to relay vital
information to the IR team
30Incident Indicators Possible Indicators
- Presence of unfamiliar files
- Presence or execution of unknown programs or
processes - Unusual consumption of computing resources
- Unusual system crashes
31Incident Indicators Probable Indicators
- Activities at unexpected times
- Presence of new accounts
- Reported attacks
- Notification from IDS
32Incident Indicators Definite Indicators
- Use of dormant accounts
- Changes to logs
- Presence of hacker tools
- Notifications by partner or peer
- Notification by hacker
33Occurrences of Actual Incidents
- Loss of availability
- Loss of integrity
- Loss of confidentiality
- Violation of policy
- Violation of law
34Incident Response
- Once an actual incident has been confirmed and
properly classified, the IR team moves from the
detection phase to the reaction phase - In the incident response phase, a number of
action steps taken by the IR team and others must
occur quickly and may occur concurrently - These steps include notification of key
personnel, the assignment of tasks, and
documentation of the incident
35Notification of Key Personnel
- As soon as an incident is declared, the right
people must be immediately notified in the right
order - An alert roster is a document containing contact
information on the individuals to be notified in
the event of an actual incident either
sequentially or hierarchically - The alert message is a scripted description of
the incident - Other key personnel must also be notified of the
incident only after the incident has been
confirmed, but before media or other external
sources learn of it
36Documenting an Incident
- As soon as an incident has been confirmed and the
notification process is underway, the team should
begin documentation - It should record the who, what, when, where, why,
and how of each action taken while the incident
is occurring - It serves as a case study after the fact to
determine if the right actions were taken, and if
they were effective - It can also prove the organization did everything
possible to deter the spread of the incident
37Incident Containment Strategies
- The essential task of IR is to stop the incident
or contain its impact - Incident containment strategies focus on two
tasks - Stopping the incident
- Recovering control of the systems
38Incident Containment Strategies (continued)
- Disconnect the affected communication circuits
- Dynamically apply filtering rules to limit
certain types of network access - Disable compromised user accounts
- Reconfigure firewalls to block the problem
traffic - Temporarily disable the compromised process or
service - Take down the conduit application or server
- Stop all computers and network devices
39Incident Escalation
- An incident may increase in scope or severity to
the point that the IRP cannot adequately contain
the incident - Each organization will have to determine, during
the business impact analysis, the point at which
the incident becomes a disaster - The organization must also document when to
involve outside response
40Initiating Incident Recovery
- Once the incident has been contained, and system
control regained, incident recovery can begin - The IR team must assess the full extent of the
damage in order to determine what must be done to
restore the systems - The immediate determination of the scope of the
breach of confidentiality, integrity, and
availability of information and information
assets is called incident damage assessment - Those who document the damage must be trained to
collect and preserve evidence, in case the
incident is part of a crime or results in a civil
action
41Incident Recovery
- Once the extent of the damage has been
determined, the recovery process begins - Identify and resolve the vulnerabilities that
allowed the incident to occur and spread - Address the safeguards that failed to stop or
limit the incident, or were missing from the
system in the first place, and install, replace,
or upgrade them - Evaluate monitoring capabilities (if present) to
improve detection and reporting methods, or
install new monitoring capabilities
42Incident Recovery (continued)
- Restore the data from backups as needed
- Restore the services and processes in use where
compromised (and interrupted) services and
processes must be examined, cleaned, and then
restored - Continuously monitor the system
- Restore the confidence of the members of the
organizations communities of interest
43After Action Review
- Before returning to routine duties, the IR team
must conduct an after-action review, or AAR - The after-action review is a detailed examination
of the events that occurred - All team members review their actions during the
incident and identify areas where the IR plan
worked, didnt work, or should improve
44Law Enforcement Involvement
- When an incident violates civil or criminal law,
it is the organizations responsibility to notify
the proper authorities - Selecting the appropriate law enforcement agency
depends on the type of crime committed federal,
state, or local
45Law Enforcement Involvement (continued)
- Involving law enforcement has both advantages and
disadvantages - They are usually much better equipped at
processing evidence, obtaining statements from
witnesses, and building legal cases - However, involvement can result in loss of
control of the chain of events following an
incident
46Disaster Recovery
- Disaster recovery planning (DRP) is the
preparation for and recovery from a disaster,
whether natural or man made - In general, an incident is a disaster when
- The organization is unable to contain or control
the impact of an incident - The level of damage or destruction from an
incident is so severe the organization is unable
to quickly recover - The key role of a DRP is defining how to
reestablish operations at the location where the
organization is usually located
47 Disaster Classifications
- A DRP can classify disasters in a number of ways
- The most common method is to separate natural
disasters from man-made disasters - Another way of classifying disasters is by speed
of development - Rapid onset disasters
- Slow onset disasters
48Planning for Disaster
- Scenario development and impact analysis are used
to categorize the level of threat of each
potential disaster - DRP must be tested regularly
49Planning for Disaster (continued)
- Key points in the DRP
- Clear delegation of roles and responsibilities
- Execution of the alert roster and notification of
key personnel - Clear establishment of priorities
- Documentation of the disaster
- Action steps to mitigate the impact
- Alternative implementations for the various
systems components
50Crisis Management
- Crisis management is a set of focused steps that
deal primarily with the people involved taken
during and after a disaster - The crisis management team manages the event
- Supporting personnel and their loved ones during
the crisis - Determining the event's impact on normal business
operations - When necessary, making a disaster declaration
- Keeping the public informed about the event
- Communicating with outside parties
51Crisis Management (continued)
- Two key tasks of the crisis management team are
- Verifying personnel status
- Activating the alert roster
52Responding to the Disaster
- Actual events often outstrip even the best of
plans - To be prepared, DRP should be flexible
- If physical facilities are intact, begin
restoration there - If organizations facilities are unusable, take
alternative actions - When disaster threatens the organization at the
primary site, DRP becomes BCP
53Business Continuity Planning (BCP)
- BCP ensures critical business functions can
continue in a disaster - BCP most properly managed by CEO of organization
- BCP is activated and executed concurrently with
the DRP when needed - While BCP reestablishes critical functions at
alternate site, DRP focuses on reestablishment at
the primary site - BCP relies on identification of critical business
functions and the resources to support them
54Continuity Strategies
- Several continuity strategies for business
continuity, determining factor is usually cost - Three exclusive-use options
- Hot sites
- Warm sites
- Cold sites
- Three shared-use options
- Timeshare
- Service bureaus
- Mutual agreements
55Exclusive Use Options
- Hot sites
- Fully configured computer facility with all
services - Warm sites
- Like hot site, but software applications not kept
fully prepared - Cold sites
- Only rudimentary services and facilities kept in
readiness
56Shared Use Options
- Timeshares
- Like an exclusive use site but leased
- Service bureaus
- Agency that provides physical facilities
- Mutual agreements
- Contract between two organizations to assist
- Specialized alternatives
- Rolling mobile site
- Externally stored resources
57Off-Site Disaster Data Storage
- To get any BCP site running quickly, organization
must be able to recover data - Options include
- Electronic vaulting - bulk batch-transfer of data
to an off-site facility - Remote Journaling - transfer of live transactions
to an off-site facility - Database shadowing - storage of duplicate online
transaction data
58Figure 3-4Incident Response and Disaster Recovery
59Figure 3-5 Disaster Recovery and Business
Continuity Planning
60Figure 3-6Contingency Plan Implementation
Timeline
61Business Resumption Planning
- Because the DRP and BCP are closely related, most
organizations prepare them concurrently, and may
combine them into a single document, the business
resumption plan (BRP) - Although a single planning team can develop the
BRP, execution requires separate teams
62Table 3-3Contingency PlanTemplate
63Table 3-3ContingencyPlan Template(continued)
64Table 3-3ContingencyPlan Template(continued)
65Sample Disaster Recovery Plan
- Name of agency
- Date of completion or update of the plan and test
date - Agency staff to be called in the event of a
disaster - Emergency services to be called (if needed) in
event of a disaster
66Sample Disaster Recovery Plan (continued)
- Locations of in-house emergency equipment and
supplies - Sources of off-site equipment and supplies
- Salvage priority list
- Agency disaster recovery procedures
- Follow-up assessment
67Testing Contingency Plans
- Once problems are identified during the testing
process, improvements can be made, and the
resulting plan can be relied on in times of need - There are five testing strategies that can be
used to test contingency plans - Desk check
- Structured walkthrough
- Simulation
- Parallel testing
- Full interruption
68Final Thoughts on Continuous Improvement
- Iteration results in improvement
- A formal implementation of this methodology is a
process known as continuous process improvement
(CPI) - Each time the plan is rehearsed it should be
improved - Constant evaluation and improvement leads to an
improved outcome
69Summary
- Introduction
- What Is Contingency Planning?
- Components of Contingency Planning
- Putting a Contingency Plan Together
- Testing Contingency Plans
- A Single Continuity Plan